FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Advisor Accused of Taking $1.6M Faces Wire Fraud Charge
By Dinah Wisenberg BrinProsecutors allege that the wealth manager misappropriated client funds, using them for her real estate business.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.
February 16, 2024
10 Top Priorities for SEC and FINRA in 2024Here are the hottest topics among regulators this year, according to ACA Compliance Group.
February 13, 2024
Jason Fichtner Among New Members Named to FINRA Foundation BoardThe nonprofit FINRA Investor Education Foundation is welcoming three industry veterans, including the former Social Security official.
February 09, 2024
FINRA Fines Current, Former LPL Advisors Over False SignaturesThe advisors both agreed to a fine and suspension.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.
February 07, 2024
The New Spot Bitcoin ETFs Aren't Actually ETFsThe misnomer has caused some confusion among both investors and financial professionals.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.